Series 24 Percentages

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  1. What falls under 1%?
    Rule 144 - Volume limits on sales of outstanding stock (4 weeks average trading volume)
  2. What falls under 5%?
    markup/Markdown Policy
  3. What falls under 8.5%
    Max sales charge on mutual funds
  4. What falls under 10%?
    • a. Max syndicate fees
    • b. Bounty to informants
    • c. Carve out procedures for allocation on hedge fund w/ restricted person
    • d. Market decline trigger for one hour halt
    • e. Undue concentration amount for one security to affect net capital
  5. What falls under 20%?
    • Heightened supervisory threshold
    • market decline trigger for 2hr halt
  6. What falls under 30%?
    • Market decline for trigger halt - rest of day
    • Minimum equity maintenance in short margin account
    • Volume limits for passive market maker
  7. What fall under 40%?
    Haircut w/ limited market makers (3m.m.'s)
  8. What falls under 70%?
    Debt to equity ratio >90 days
  9. What falls under 80%?
    Rule 147 - issuer assets AND sales within states.
  10. What falls uder 100%?
    • Haircut of B/D is only market maker
    • Deposit required in cash account
  11. What falls under 105%?
    If B/D chooses to calculate reserve requirement monthly rather than weekly.
  12. What falls under 120%?
    • Fidelity Bond
    • early warning
  13. What falls under 140%?
    Customer debit balance - B/D may re-hypothecate to bank

Card Set Information

Series 24 Percentages
2012-10-13 21:22:04
Series 24 Percentages

All the percentages listed in the Series 24 material
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